EATON VANCE CORP. (NYSE:EV) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

EATON VANCE CORP. (NYSE:EV) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of

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Certain Officers; Compensatory Arrangements of Certain Officers.

On October 24, 2018, the Board of Directors and the Voting Shareholders of Eaton Vance Corp. (the “Company”) approved the Eaton Vance Corp. 2013 Omnibus Incentive Plan, as amended and restated (the “Plan”).

The Plan provides for the grant of stock-based incentives, including stock options, restricted stock and deferred stock awards, to employees of the Company, including its officers, as well as grants to certain members of the Company’s Board of Directors who qualify as non-employee directors. The Plan was amended and restated to: (i) revise the name of phantom stock units to “deferred stock units”, (ii) eliminate the automatic grant of initial and annual stock option awards for directors and allow instead for awards at the discretion of the Board, and (iii) increase the initial and annual deferred stock unit awards for directors to adjust for elimination of the fixed annual stock option grant and revise related provisions for deferred stock unit award settlement. The number of shares issuable under the Plan was not changed and remains at up to a total of twenty-five million five-hundred thousand (25,500,000) shares of the Company’s non-voting common stock, subject to adjustment in the event of stock splits, stock dividends or similar events.

The description of the Plan is qualified in its entirety by the actual plan document, a copy of which is filed as Exhibit 10.1 to this Current Report on Form 8-K.

Item 5.07 Submission of Matters to a Vote of Security Holders.

The disclosure under Item 5.02 of this Current Report on Form 8-K in connection with the approval of the Plan is incorporated into this Item 5.07 by reference. The Company’s Voting Shareholders approved the Plan by unanimous written consent on October 24, 2018.

Item 9.01 Financial Statements and Exhibits

Exhibit No. Document

10.1 Amended and Restated Eaton Vance Corp. 2013 Omnibus Incentive Plan


EATON VANCE CORP Exhibit
EX-10.1 2 exhibit.htm EATON VANCE CORP. EATON VANCE CORP. 2013 OMNIBUS INCENTIVE PLAN __________________________ (Effective as of October 23,…
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About EATON VANCE CORP. (NYSE:EV)

Eaton Vance Corp. is engaged in business of managing investment funds and providing investment management and advisory services to individuals and institutions. The Company seeks to develop and sustain management expertise across a range of investment disciplines, and offer investment products and services through various distribution channels. It operates through investment adviser to funds and separate accounts segment. The Company, through its subsidiaries, Eaton Vance Management and Atlanta Capital Management, LLC, and other affiliates, manages active equity, income and alternative strategies across a range of investment styles and asset classes, including the United States and global equities, floating-rate bank loans, municipal bonds, high-yield and investment grade bonds. Through its subsidiary, Parametric Portfolio Associates LLC, it manages a range of engineered alpha strategies, including systematic equity, systematic alternatives and managed options strategies.

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